Tag: CCO

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The Compliance Life

Joe Burke -To Dell and Into Compliance

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Joe Burke, most recently the Chief Ethics & Compliance Officer and Employment Counsel, Quest Software Inc.

From Kentucky Fried Chicken in Louisville, Joe moved to Round Rock, TX, to work at Dell Inc. He began in Federal Government Sales, where he developed a compliance program for GSA and TAA work for  Dell Federal. He moved into compliance with the “big switch” from commercial legal to Chief Compliance Counsel. In this role, he was instrumental in building a new FCPA program using the Federal Sentencing Guidelines as a guideline.

Resources

Joe Burke LinkedIn Profile

Categories
Greetings and Felicitations

Ulysses at 100-Lessons for the 21st Century Compliance Professional – Bloomsday and Storytelling


Matt Kelly once challenged me to write a blog post for Bloomsday. Well aware of my great love for Joyce’s magnum opus, I accepted the challenge. This year is the 100th anniversary of the publication of the book. To celebrate this event, James Joyce’s novel at 100 and the compliance profession, I have decided to do a 5-part podcast series on Ulysses. Over this podcast series, I will highlight some of the books and commentary and tie what Joyce, Dublin, Leopold Bloom and his wife Molly, together with his mentor Stephen Daedalus, can teach the modern compliance professional. I hope you will join me in the short celebration and trip through Dublin 1904 for the 100th anniversary of Bloomsday. In Part 5, Bloomsday and storytelling.
 Resources
The Teaching Compliance-James Joyce Ulysses, by James Heffernan
The Politicians Who Love Ulysses by Kevin Dettmar
“Ulysses” and the Moral Right to Pleasure by Dan Chiasson in the New Yorker
The Moral of Ulysses by Charles Cosby
Ethics and the Modernist Subject in James Joyce’s “Ulysses,” Virginia Woolf’s “The Waves,” and Djuna Barnes’s “Nightwood” by AnnKatrin Jonsson
The Ethical Reader in Ulysses by Stephen Gilbert

Categories
Great Women in Compliance

A Conversation with Adam Balfour


Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.
Adam Balfour is known as a “GGIC” – a great guy in compliance, and he is also Vice President and General Counsel for Corporate Compliance and Vice President for Global Risk Management at Bridgestone America. Initially from Scotland, Adam has supported diversity throughout his career and recognizes the importance of different viewpoints as part of analyzing risk.
Adam has become known for a number of things, including his “Sunday Morning Compliance Tip,” which is on LinkedIn every week and is now being published by Corporate Compliance Insights. Lisa and Adam talk about how this passion project has grown and how a community has evolved around it. They also discuss how projects like these can enhance your professional career as well as the opportunities they can provide for people to build their networks and experiences.
Another thing Adam is known for is the philosophy of “ethics and compliance for humans,” and he explains this idea and how it applies to how he builds a program. He is also a strong advocate for women, a dad to 3 girls and one son, so he shares his advice with them.

 The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance-related offerings to listen to. If you are enjoying this episode, please rate it on your preferred podcast player to help other like-minded Ethics and Compliance professionals find it. You can also find the GWIC podcast on Corporate Compliance Insights, where Lisa and Mary have a landing page with additional information about them and the story of the podcast. Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We’ve Learned from Great Women in Compliance” (CCI Press, 2020).

You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it, and we welcome new subscribers to our podcast.

Join the Great Women in Compliance community on LinkedIn here.

Categories
Compliance Into the Weeds

Compliance Craziness

Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to more fully explore a subject. In this episode, we deep dive into some recent crazy stories involving CCOs, compliance professionals and the compliance function.  Highlights include:

·      New CCO at Facebook and the results.

·      Did Penn State CCO engage in retaliation, discrimination and harassment?

·      Is a contract non-renewal retaliation?

Resources

Matt in Radical Compliance

Categories
Greetings and Felicitations

Ulysses at 100-Lessons for the 21st Century Compliance Professional

Matt Kelly once challenged me write a blog post for Bloomsday. Well aware of my great love for Joyce’s magnum opus, I accepted the challenge. This year is the 100th anniversary of the publication of the book. To celebrate this event, the author James Joyce and my passion for compliance, I have decided to do a 5-part podcast series on Ulysses. Over this podcast series, I will highlight some of the book and commentary and tie what Joyce, Dublin, Leopold Bloom and his wife Molly, together with his mentor Stephen Daedalus can teach the modern compliance professional. I hope you will join me in the short celebration and trip through Dublin 1904 for the 100th anniversary of Bloomsday. In Part 1, why does Joyce and Ulysses still matter.

Resources

The Teaching Compliance-James Joyce Ulysses, by James Heffernan

Categories
The Compliance Life

Mark Beyer – Into the CCO Chair


The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Mark Beyer, the Ethics and Compliance Officer at Pedernales Electric Cooperative.
In this concluding episode, Beyer discusses his move to Pedernales Electric Cooperative, the largest electric distribution cooperative in the US. He moved to the role in no small part because of his love for the Texas Hill Country (much like the host Tom Fox-see The Hill Country Podcast).  In addition to moving into the CCO chair, Beyer found the risks in such a non-profit electric cooperative very different than a publicly traded for profit enterprise. Beyer has also continued to expand his Compliance Toolkit while sitting in the CCO chair.
Tool No. 11 was the lesson that the CCO could not, should not and did not do everything in the compliance arena. The ‘who’ of doing it is quite important. The company’s customers are a rural base in the Hill Country of Texas and relationships are very important.
Tool No. 12 was expanding his compliance remit to include privacy. Simply because you are a US centric business, does not mean privacy rights do not exist. While they may not rise to the level of GDPR, they exist even in Texas.
Resources
Mark Beyer LinkedIn Profile
Pedernales Electric Cooperative

Categories
Daily Compliance News

May 19, 2022 the Pressure Edition


In today’s edition of Daily Compliance News:

  • JPMorgan shareholders disapprove of CEO pay package. (Reuters)
  • Allianz pleads guilty. (NYT)
  • DOJ to require CCO certification. (Compliance Week)
  • Top Nigerian accountant arrested in $193MM theft. (Bloomberg)
Categories
Compliance Week Conference Podcast

Charles Schwager on The Current State of Compliance and What’s in Store for the Future


In this episode of the Compliance Week 2022 Preview Podcasts series, Charles will discuss some of his presentation at Compliance Week 2022 “The Current State of Compliance and What’s in Store for the Future”. Some of the issues he will discuss in this podcast and his presentation are:

  • The current state of the industry, impacts of COVID-19, and examine the road ahead;
  • Steps compliance professionals can take collectively to protect and advance the profession moving forward; and
  • Reflections on emerging topics that are top of mind for compliance officers and how leaders are forging ahead.

In this first full compliance conference in over 2 years, I hope you can join me at Compliance Week 2022. This year’s event will be May 16-18 at the JW Marriott in Washington DC. The line-up of this year’s event is simply first rate with some of the top ethics and compliance practitioners around.
Gain insights and make connections at the industry’s premier cross-industry national compliance event offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 17th year, compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. and many others to:

  • Network with your peers, including C-suite executives, legal professionals, HR leaders and ethics and compliance visionaries.
  • Hear from 75+ respected cross-industry practitioners who are CEOs, CCOs, regulators, federal officials, and practitioners to help inform and shape the strategic direction of your enterprise risk management program.
  • Hear directly from the two SEC Commissioners and gain insights into the agency’s areas of enforcement and walk away with guidance on how to remain compliant within emerging areas such as ESG disclosure, third-party risk management, cybersecurity, cryptocurrency and more.
  • Bring actionable takeaways back to your program from various session types including ESG, Human Trafficking, Board obligations and many others for you to listen, learn and share.
  • The goal of Compliance Week is to arm you with information, strategy and tactics to transform your organization and your career by connecting ethics to business performance through process augmentation and data visualization.

I hope you can join me at the event. For information on the event, click here. As an extra benefit to listeners of this podcast, Compliance Week is offering a $200 discount off the registration price. Enter discount code discount code TFLAW $200 OFF.

Categories
Compliance Week Conference Podcast

Steve Naughton on The Current State of Compliance and What’s in Store for the Future


In this episode of the Compliance Week 2022 Preview Podcasts series, Steve will discuss some of his panel at Compliance Week 2022 “The Current State of Compliance and What’s in Store for the Future”. Some of the issues he will discuss in this podcast and his presentation are:

  • The current state of the industry, impacts of COVID-19, and examine the road ahead
  • Steps compliance professionals can take collectively to protect and advance the profession moving forward
  • Reflections on emerging topics that are top of mind for compliance officers and how leaders are forging ahead

In this first full compliance conference in over 2 years, I hope you can join me at Compliance Week 2022. This year’s event will be May 16-18 at the JW Marriott in Washington DC. The line-up of this year’s event is simply first rate with some of the top ethics and compliance practitioners around.
Gain insights and make connections at the industry’s premier cross-industry national compliance event offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 17th year, compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. and many others to:

  • Network with your peers, including C-suite executives, legal professionals, HR leaders and ethics and compliance visionaries.
  • Hear from 75+ respected cross-industry practitioners who are CEOs, CCOs, regulators, federal officials, and practitioners to help inform and shape the strategic direction of your enterprise risk management program.
  • Hear directly from the two SEC Commissioners and gain insights into the agency’s areas of enforcement and walk away with guidance on how to remain compliant within emerging areas such as ESG disclosure, third-party risk management, cybersecurity, cryptocurrency and more.
  • Bring actionable takeaways back to your program from various session types including ESG, Human Trafficking, Board obligations and many others for you to listen, learn and share.
  • The goal of Compliance Week is to arm you with information, strategy and tactics to transform your organization and your career by connecting ethics to business performance through process augmentation and data visualization.

I hope you can join me at the event. For information on the event, click here. As an extra benefit to listeners of this podcast, Compliance Week is offering a $200 discount off the registration price. Enter discount code discount code TFLAW $200 OFF.

Categories
Great Women in Compliance

Nordic Business Ethics Initiative – Niina Ratsula and Anna Romberg


Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.
Not too dissimilar from Lisa and Mary, Niina and Anna partner on a project to further knowledge to others in the Ethics and Compliance community.  Their Nordic Business Ethics Initiative is a wonderful contribution to practitioners.  We invite you to hear the story about how they got started and what they provide to others in the field.
Niina and Anna discuss some of the recent findings in their benchmarking survey with Mary sharing some commentary on a surprising finding and how global practitioners might use this data to target their speak up campaigns accordingly.
They also share their advice for anyone else thinking about launching a not for profit idea to serve the Compliance community and Mary wraps up the interview with some advice regarding interpreting signals of anger and what they mean vis-a-vis guilt in investigations.
Each of the GWIC team; Lisa, Tom and Mary, is speaking at Compliance Week in DC 16-18 May.  If you enjoy our thought leadership, join our panel sessions to hear more and look out for us in the networking breaks to say hello!
The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings to listen in to.  If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it.  You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast.  Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We’ve Learned from Great Women in Compliance” (CCI Press, 2020).
Join the Great Women in Compliance community on LinkedIn here.